CNJCG Seminar – Risk Management & Compliance Monitoring

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Date: Thursday, September 13, 2018 | 9:00 AM - 11:00 AM

Venue: Mercadien’s Offices, 3625 Quakerbridge Road
Hamilton, NJ 08619 United States

Description: Tightening regulations, potential litigation, monetary liabilities, reputational risks. The exposures for all operational areas, including investment advisory, keep increasing. 

If your bank and fiduciaries want a stronger grasp on the latest compliance trends and a new playbook for effective risk management, join us for this complimentary breakfast seminar, where attendees will learn strong risk management provides the best risk defense, and to:

  • Identify key elements for implementing an effective compliance monitoring program
  • Assess and prep for the most targeted areas of regulatory review and auditor focus
  • Establish best practices for board governance and oversight
  • Identify key risks related to trust and investment management activities

Schedule:
9:00 – 9:30 A.M. – Breakfast & Networking
9:30 – 11:00 A.M. – Presentation

1.5 CPE credits in Specialized Knowledge are offered at this free, group-live seminar. Program level – basic. No advance preparation or prerequisites required.

Presenter:  Raji Sathappan, CPA, MBA, CRCM, CAMS and Kathleen J. Root, MS, CTA, CFSA, CBA, Directors in Mercadien’s Financial Institutions Services Group

Refund/Cancellation Policy: Since this program will be presented free of charge, there will be no refunds issued.  For more information regarding complaint and/or program cancellation policies, please contact our office at 609-689-9700.

Please note: Attendance may be limited. If you have any questions or would like more information about this event, contact us by emailing events@mercadien.com or calling 609-689-9700.

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